Compliance Framework

The Financial Consumer Agency of Canada (FCAC) Compliance and Enforcement Branch (CEB) is responsible for supervising:

The Compliance Framework outlines the various ways FCAC oversees compliance pursuant to the FCAC Act. It is meant to provide users with a broad overview of the framework and allows users to navigate through additional levels of detail, as needed. By clicking on the boxes of the flash version, additional explanation can be obtained and links to other resources are also made available.

A text version of Compliance Framework is also available.

Compliance framework Accumulation of Industry Information Risk Assessment Model Compliance triage Possible Compliance Concern: Legislative Provision Investigation and evaluation Compliance report or proposal To Commissioner for evaluation Representations To Commissioner for decision Possible Compliance Concern: Voluntary Code of Conduct or Public Commitment Compliance and Enforcement Toolbox Promote Compliance: Tools to promote compliance Non-substantive letter Letter of concern Letter of concern with an action plan Non-compliance letter Implement Compliance: Tools to implement compliance Compliance Agreement On-site examination Desk review Enforce Compliance:Tools to enforce compliance Notice of Violation Notice of Decision Investigation and evaluation Representations To Commissioner for decision Reporting to Stakeholders Legal Disclaimer  

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